SEC Form 4 · accession 0000899243-17-020793
Niagen Bioscience, Inc. · NAGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 18, 2017
Accepted (ET)
Aug 22, 2017 · 8:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001386570
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 18, 2017 | P | 786,167 | $2.60 | A | 3,846,155 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pioneer Step Holdings Limited ("Pioneer Step") acquired 786,167 shares of the Issuer's common stock at the closing of the third tranche on August 18, 2017, pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River Ventures Limited ("Champion River") and Pioneer Step, as amended by the First Amendment to Securities Purchase Agreement, dated May 24, 2017 (the "First Amendment"), by and among the Issuer, Champion River and Pioneer Step.
- F2The shares are held directly by Pioneer Step. The sole shareholder and sole director of Pioneer Step is Chau Hoi Shuen Solina Holly ("Solina Chau"). Solina Chau disclaims Section 16 beneficial ownership of the securities held by Pioneer Step, except to the extent of her pecuniary interest therein, if any.
Remarks
Exhibit 24 - Power of Attorney (incorporated herein by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Persons on May 8, 2017)